AUDIT PLAN
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HRSD CLASSIFICATION AUDIT PLAN OREGON DEPARTMENT OF FORESTRY FIELD CLASS STUDY AUDIT PURPOSE AND SCOPE The purpose of this audit is to review Oregon Department of Forestry (ODF) allocations to new classes in the Forestry Field Class Study. This audit will also review the Fair Labor Standards Act (FLSA) and service type designations for each position selected for review. Forestry Field Class Study Dispatch Suppression Manager New New New New Class # Classification New Class # Classification New Class # Classification Wildland Fire 8253 Forest Lookout 8254 Suppression 8259 Forest Manager 1 Specialist Entry Wildland Fire Wildland Fire 8263 8255 Suppression 8260 Forest Manager 2 Dispatch Entry Specialist Wildland Fire Forest Officer District Forest 8264 8256 8261 Dispatcher Entry Manager Wildland Fire Area Forest 8265 Dispatch 8257 Forest Officer 8262 Manager Supervisor Wildland Fire 8258 SuppressionSupervisor REFERENCES ORS 240.215 states the responsibility of the Human Resource Services Division (HRSD) and agencies to adopt and maintain classification plans. This law allows HRSD to audit agency allocations to classifications. HRSD State Policy 30.000.01, Position Management, states in relevant part: “(1) State agencies shall manage work assignments within the budgeted position classification levels. Accordingly, an appointing authority shall: (a) Develop and maintain a complete and current position description for ...
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HRSD
C
LASSIFICATION
A
UDIT
P
LAN
O
REGON
D
EPARTMENT OF
F
ORESTRY
F
IELD
C
LASS
S
TUDY
Page 1 of 3
December 10, 2008
A
UDIT
P
URPOSE AND
S
COPE
The purpose of this audit is to review Oregon Department of Forestry (ODF) allocations to new classes in
the Forestry Field Class Study.
This audit will also review the Fair Labor Standards Act (FLSA) and
service type designations for each position selected for review.
Forestry Field Class Study
Dispatch
Suppression
Manager
New Class #
New
Classification
New Class #
New
Classification
New Class #
New
Classification
8253
Forest Lookout
8254
Wildland Fire
Suppression
Specialist Entry
8259
Forest Manager 1
8263
Wildland Fire
Dispatch Entry
8255
Wildland Fire
Suppression
Specialist
8260
Forest Manager 2
8264
Wildland Fire
Dispatcher
8256
Forest Officer
Entry
8261
District Forest
Manager
8265
Wildland Fire
Dispatch
Supervisor
8257
Forest Officer
8262
Area Forest
Manager
8258
Wildland Fire
Suppression
Supervisor
R
EFERENCES
ORS 240.215
states the responsibility of the Human Resource Services Division (HRSD) and agencies
to adopt and maintain classification plans.
This law allows HRSD to audit agency allocations to
classifications.
HRSD State Policy 30.000.01, Position Management,
states in relevant part:
“(1) State agencies shall manage work assignments within the budgeted position classification levels.
Accordingly, an appointing authority shall:
(a) Develop and maintain a complete and current position description for each position which
accurately describes the duties, authorities and responsibilities assigned by management.
(b) Allocate each position to the available class that best depicts the assigned duties, authorities and
responsibilities and maintain written documentation of allocation decision rationale.
(A) Allocation, reallocation, and reclassification decision documentation shall include an accurate,
current written position description and organization chart; and a clear narrative justification for
the allocation based on relevant classification specifications. At a minimum, the narrative
justification should include the: 1) reason for the position review or establishment; 2) information
and classifications considered; 3) analysis; and 4) classification decision.
(1)(c) Determine and maintain accurate statutory assignment or representation identifications of each
position….”
HRSD State Policy 20.005.20, Fair Labor Standards Act,
states in relevant part:
"(1) The state shall comply with provisions of the Fair Labor Standards Act (FLSA) and Oregon Wage
and Hour Laws.…(1)(a) The appointing authority shall determine the status of each employee, either
exempt or non-exempt from overtime, using Department of Labor (DOL) and Bureau of Labor and
Industries (BOLI) guidelines, and keep accurate records of FLSA status, work week and overtime.”
ORS 240.195; 240.200; 240.205; 240.210; 240.212; and 243.650
define categories of state service for
positions.
A
UDIT
M
ETHODOLOGY AND
E
LEMENTS
Overall Methodology – The HRSD Classification and Compensation Section will provide a database of
positions allocated to new classifications in the Forestry Field Class Study.
A random sample will identify
positions selected for review.
The audit data will draw from 607 positions to select a sample of 75
positions.
The 75 sampled positions will include at least one “from/to” combination for each classification
and no less than 10% of the agency’s allocations.
The ODF will provide a current position description
and written analysis justifying the allocation for each selected position.
The audit will also review 11
positions allocated to classes outside the study.
1. Element – Ensure the agency has allocated each sampled position to the correct classification.
Element Risk Assessment* = 1 (Monetary / Adverse Impact)
Methodology – Examine each position description and agency analysis provided for the selected
position.
Ensure the classification chosen by the agency most accurately describes the work based
on the assigned duties, authorities and responsibilities.
2. Element – Ensure the agency has correctly designated each selected position under the FLSA.
Element Risk Assessment* = 1 (Monetary / Adverse Impact)
Methodology – Examine each position description and agency analysis provided for the selected
position.
Ensure the position duties, authorities and responsibilities meet the criteria of the assigned
FLSA designation of exempt or non-exempt.
3. Element – Ensure the agency has assigned each selected position to the correct state service.
Element Risk Assessment* = 1 (Monetary / Adverse Impact)
Methodology – Examine each position description and agency analysis provided for the selected
position.
Ensure the position duties, authorities and responsibilities meet the criteria for the assigned
type of service.
4. Element – Ensure each position description is complete and current.
Element Risk Assessment* = 2 (Adverse Impact)
Methodology – Examine each position description provided for the selected position.
Ensure the
position description is current and includes the required information in each section.
The position
description should be signed and dated by an appointing authority.
5. Element – Ensure the submitted documents include the required components.
Element Risk Assessment* = 2 (Adverse Impact)
Methodology - Examine documents provided by the agency for each selected position.
Ensure the
documents include a 1) complete position description, 2) organization chart, and, 3) clear written
analysis for the allocation.
*See page 3 for ERA definitions
Page 2 of 3
December 10, 2008
*See page 3 for ERA definitions
Page 3 of 3
December 10, 2008
HR
A
UDIT
C
ONSULTING AND
C
ORRECTIVE
A
CTIONS
The HR Audit Unit may consult with the agency to implement audit recommendations and ensure
compliance with personnel laws, rules and policies.
The Element Risk Assessment rating may be
applied when developing corrective action plans or consulting on best practices.
S
YSTEM
D
ATA
S
OURCES
A report will be produced using data in the Classification Allocation database.
This database contains
each position allocated to a classification in the Forestry Field Class Study and relevant data from the
Position and Personnel Data Base (PPDB) for each position.
The report will include the following data
fields:
−
Agency number
−
Allocation Classification Title
−
Employee name
−
Position FLSA Designation
−
Authorization Number
−
Employee FLSA Designation
−
Position number
−
Position Overtime Eligibility
−
Current Position Classification Number
−
Employee Overtime Eligibility
−
Current Position Classification Title
−
Position Service Type
−
Allocation Classification Number
−
Employee Service Type
E
LEMENT
R
ISK
A
SSESSMENT
(ERA)
1
There is a
significant
potential for monetary impact resulting from penalties, legal action or loss of
productivity.
There is also the potential for significant adverse impact on the health, welfare or safety of
those served, or the public’s perception of state government resulting from inappropriate expenditures
and/or poor stewardship of public funds and resources.
Corrective actions assume
prompt
compliance by
the agency.
Follow-up actions may include further analysis of the audit subject or agency human resource
management practice.
2
There is a
moderate
potential for monetary impact resulting from penalties or legal action or loss of
productivity.
There is also the potential for a moderate adverse impact on the health, welfare or safety of
those served, or the public’s perception of state government resulting from inappropriate expenditures
and/or poor stewardship of public funds and resources.
Corrective actions assume
timely
compliance by
the agency.
Follow-up actions may include further analysis of audit subject or agency human resource
management practice.
3
There is a potential for
relatively low or no
monetary impact resulting from penalties or legal action or
loss of productivity.
The practice does not constitute a best management practice and may cause minor
disruptions and inconveniences to others or the workflow.
Corrective actions are in the form of
recommendations for future practices or for agency to receive training in an identified human resource
management area.
This may include further analysis of audit subject or agency human resource
management practice.
